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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option to Buy (3) | $ 5.96 | (2) | 10/01/2024 | Common Shares | 100,000 | 100,000 | D | ||||||||
Option to Buy (3) | $ 6.81 | (2) | 11/20/2024 | Common Shares | 75,000 | 75,000 | D | ||||||||
Option to Buy (3) | $ 6.55 | (2) | 01/02/2025 | Common Shares | 39,923 | 39,923 | D | ||||||||
Option to Buy (3) | $ 9.39 | (2) | 07/01/2025 | Common Shares | 45,000 | 45,000 | D | ||||||||
Option to Buy (3) | $ 11.06 | (2) | 07/01/2026 | Common Shares | 60,000 | 60,000 | D | ||||||||
Option to Buy (3) | $ 9.39 | (4) | 07/01/2025 | Common Shares | 90,000 | 90,000 | D | ||||||||
Option to Buy (3) | $ 10.2 | (5) | 02/24/2027 | Common Shares | 65,963 | 65,963 | D | ||||||||
Option to Buy (3) | $ 5.92 | (6) | 08/17/2027 | Common Shares | 60,477 | 60,477 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Wells Dennis W. 10000 ALLIANCE ROAD CINCINNATI, OH 45242 |
X | CEO and President |
/s/ F. Mark Reuter as Attorney-in-Fact for Dennis W. Wells | 01/23/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Common Shares held in the LSI Industries Inc. Non-Qualified Deferred Compensation Plan. |
(2) | The options vest at a rate of 25% per year beginning on the first anniversary of the grant date. |
(3) | These holdings have been previously reported on Form 4. |
(4) | On July 1, 2015, the Reporting Person was granted an option to purchase 90,000 shares of common stock. The option vests in three equal annual installments based on the Issuer's satisfaction of certain performance criteria for the fiscal year ending June 30, 2016. On September 8, 2016, it was determined that the performance criteria were met. |
(5) | The options vest in full on the third anniversary of the grant date. |
(6) | The options vest ratably over a three year time period. |